Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and
Bangkok, March 18, 2015 ? The SEC revoked the approval of a financial advisor supervisor, namely {A} of KPMG Phoomchai Business Advisory Ltd., for willfully imparting false statement and concealing
Bangkok, July 4, 2016 - The SEC has suspended the approval of {X1} Securities (Thailand) Co., Ltd. as financial advisor and the approval of {A} as the company's supervisor of financial advisory
investors in the bond market.” SEC Bond Check Version 2 allows investors and the interested public to search for a wider range of information and details using advanced functions. For example, users can
Bangkok, 23 June 2017 ? The SEC has ordered Energy Earth Public Company Limited (EARTH) to have a special audit on the advanced payments for goods and purchase deposits and disclose the results of
derivatives agents. The proposed rules aim at enhancing service quality and keeping up with advanced IT systems such as use of cloud computing service, IT human resource security, encryption and incident
In June 2017, the SEC required EARTH to arrange a special audit on the transactions of the advanced payments for goods and the payment for the right to purchase goods. The EARTH's plan preparer later
and fund supervisor as well as investment requirements. The offering of ASEAN CIS will be made through securities companies in Thailand and in compliance with disclosure rules comparable to the
principles and changing advanced technologies. The proposed revisions would apply to future exchange, derivative clearing house, securities clearing house and securities depository with regard to improvement
management system suitable for business types and risk profiles. However, a stricter work system than legally required is welcome as well.? As a frontline compliance supervisor, intermediaries are also